DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Peakshares LLC

Asset manager (funds and pooled vehicles)Tampa, FloridaCRD 329193SEC 801-129548websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Jan 22, 2024 · 5 filings
SEC status approved since Feb 16, 2024
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$110M as of Mar 31, 2026
Mar 28, 2025$17.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 28, 20253 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20254 then
Private funds: no history
RAUM +531% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
$36.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$55.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+531%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$110M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Randall Ciccati · Chief Executive Officercontrol
        since 11/2023 · owns 25% to 50%
      • Rameshwar Singh · President And Lead Portfolio Managercontrol
        since 11/2023 · owns 25% to 50%
      • Rohan Bahri · Co-Portfolio Manager
        since 11/2023 · owns 5% to 10%
      • Saad Rahmouni Idrissi · Cco
        since 11/2023 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list Peakshares LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 28, 2025 to Mar 31, 2026
      • Discretionary RAUM · $17.4M to $110M
        Mar 28, 2025 to Mar 31, 2026
      • RAUM · $17.4M to $110M
        Mar 28, 2025 to Mar 31, 2026
      • Accounts · 0 to 1
        Feb 5, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Feb 5, 2024 to Mar 28, 2025
      • State-registered IARs · 2 to 3
        Feb 5, 2024 to Mar 28, 2025
      • Discretionary RAUM · $0 to $17.4M
        Feb 5, 2024 to Mar 28, 2025
      • RAUM · $0 to $17.4M
        Feb 5, 2024 to Mar 28, 2025
      Signals
      1 dated events
      • Peakshares Llc filed its initial SEC registration (Form ADV)
        Jan 22, 2024 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      peaksharesfunds.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      877-577-3257reportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026